Shanghai International Logistics Co., Ltd.
International Shipping Documents Every Exporter Must Prepare
A consignment can be physically ready and still fail to move. The container is sealed, the vessel has space, the buyer has paid, and the cargo sits at the terminal because one field on the invoice disagrees with the packing list. Export documentation is the operating layer of a trade transaction: it identifies the goods, declares their value and classification, evidences the carriage contract, and authorises regulated movement. Each document is a legal assertion on paper, checked by a party with authority to refuse the cargo.
Cargo is inspected when opened; documents are checked line by line before loading. A mismatch caught before loading costs a revision and hours; the same mismatch found after arrival costs demurrage, storage, penalties and often the shipment value.
The commercial invoice is the seller's declaration of the transaction: what was sold, to whom, at what price and on what delivery terms. A usable invoice names both parties with full addresses, carries a unique number and date, states the currency and the Incoterm 2020 rule with its named place, describes each line specifically enough to classify, and shows unit price, line value and total.
The packing list describes the consignment rather than the sale: descriptions matching the invoice, quantities, package count, dimensions, gross and net weight, volume, packaging type, marks and numbers, container and seal numbers.
Customs compares the two documents line by line rather than reading them separately. Quantities per line must match, package counts must reconcile with weight, and descriptions must be specific: goods, samples or spare parts invite a classification query. Where a difference is genuine but explainable, document it; otherwise the consignment is held until a corrected document is issued.
| Document | What it proves | Issued by | When required |
|---|---|---|---|
| Commercial invoice | Price, parties, sale terms | Seller or exporter | Every export |
| Packing list | Quantity, weights, packaging, marks | Shipper or packer | Every export |
| Bill of lading | Carriage contract and title | Carrier | Sea, containerised cargo |
| Sea waybill | Receipt of goods only | Carrier | Sea cargo, no title needed |
| Certificate of origin | Country of production | Chamber, customs, approved body | Origin declared or preference claimed |
| Dangerous goods declaration | Nature and handling of DG | Shipper | Dangerous goods, any mode |
| Export declaration | Regulatory statement of export | Exporter | Most jurisdictions |
| Import declaration | Entry for consumption | Importer | Destination country |
The transport document evidences the carriage contract and the carrier's receipt of the goods. At sea it splits into two instruments with different legal effect. A bill of lading is negotiable subject to its wording: it can be endorsed and transferred, and it is the document a bank requires as security for payment under a letter of credit. A sea waybill is expressly non-negotiable and is a receipt of goods only, so no title passes through it.
The bill of lading is issued by the carrier, normally through the forwarder who booked the space, and its wording determines negotiability. A straight bill naming a specific consignee is treated as non-transferable, while to order and to order of shipper forms are negotiable. A blank bill is rejected by carriers and banks because it lets the holder substitute consignee details.
The choice follows payment security, not convenience. Under a letter of credit, the credit terms define what the bill must show: consignee wording, notification party, freight notation, endorsement and the number of originals. On documentary collection or open account, a waybill removes documentary risk. For either instrument, consignee and notify-party details must agree with the commercial invoice, the classic reason a bank rejects a document set.
| Feature | Bill of lading | Sea waybill |
|---|---|---|
| Transferability | Negotiable when worded to order | Non-negotiable, receipt only |
| Purpose | Carriage contract, title, payment security | Simple receipt of goods |
| Payment use | Letter of credit, collection | Advance payment, open account |
| Consignee detail | Must match credit and invoice | Must match shipping instructions |
A certificate of origin states where the goods were made. Non-preferential certificates support statistical reporting, import controls, sanctions screening and quota administration. Preferential certificates support a reduced duty rate under a trade agreement, and are issued only where the exporter can demonstrate that the goods satisfy the origin criteria of that agreement.
Origin rules take one of three forms. Wholly obtained applies to goods entirely produced in the country. Substantial transformation applies where processing changes the tariff classification of the material, usually tested by a change of heading or subheading. Value tolerance rules permit a stated percentage of non-originating input, sometimes capped. Agreements also impose direct shipment and non-alteration conditions.
Harmonized System classification places every product in a structure whose first six digits are common across participating jurisdictions, with national subdivisions added for duty rates, import controls and statistics. The code sets the duty rate, determines whether a licence or quota applies, and drives how the goods are described in the declaration. Classification follows the goods as presented: their nature, composition, principal use and packaging.
Valuation starts from the transaction value, the price actually paid or payable, adjusted by defined additions and deductions. Additions include freight and insurance to the place of import when not included, royalties and licence fees payable by the buyer, packing costs, and buyer-supplied tools and moulds. Deductions include transport beyond the place of import and export duties. Where buyer and seller are related, authorities may substitute a deductive or computed value.
Beyond the commercial and transport set, the exporter files a declaration with the customs authority of the country of export. It states what is leaving the country, its control classification, its value, the destination and the licence relied upon. The invoice, packing list and certificate of origin support that filing, so an error in any of them propagates into it.
Dangerous goods require a separate signed declaration from the shipper in every mode: the IMDG Code for sea and inland waterway, the ICAO Technical Instructions for air, and the road and rail agreements for land transport. It states the UN number, proper shipping name, hazard class and division, subsidiary risks, packing group, marine pollutant status, emergency response information including the EMS and FSG numbers, and the emergency contact.
Containerised dangerous goods also require a container packing certificate where the rules call for it, signed by the shipper or stuffing operator confirming compliant packing, marking and labelling, plus a dangerous goods declaration list attached to the manifest. Errors there are treated as declaration errors, and the usual consequence is that the container cannot be loaded and the vessel sails without it.
An insurance certificate evidences cover for a specific shipment. It identifies the insurer or underwriter, the policy number, the insured value, the risks covered, the deductible, the voyage limits and the claims procedure; certificates under an open cover are common, while standalone policies are used for larger consignments. The insured value for marine cargo is conventionally the invoice value plus a percentage covering freight and margin, and the Institute Cargo Clauses reference sets the level of cover.
Incoterms 2020 rules define delivery, the point at which risk transfers, cost allocation and the customs obligations of each party.
The practical test when choosing a term is whether the named place can be controlled by the party who must act there, since a term the seller cannot physically perform transfers risk on paper only.
| Rule | Delivery point | Risk passes | Export clearance | Note |
|---|---|---|---|---|
| EXW | Seller's premises | On handover | Buyer | Seller need not load |
| FCA | Seller's premises or named place | Carrier takes delivery | Seller | Safer general default |
| FOB | Onboard vessel at port of loading | Once on board | Seller | Mismatched to container terminals |
| CPT | First carrier at origin | On handover | Seller | Freight prepaid to destination |
| CIF | Onboard vessel at port of loading | Once on board | Seller | Includes minimum insurance |
| DAP | Destination, ready for unloading | Before unloading | Seller | Seller handles import clearance |
| DPU | Destination, unloaded | After unloading | Seller | Only rule requiring seller to unload |
| DDP | Destination, ready for unloading | Before unloading | Seller | Seller handles duty and clearance |
Most holds are not caused by a missing document but by two documents describing the same cargo differently. The remedy is structural. Maintain one master record per consignment holding item description, HS code, quantity, unit price, extended value, gross and net weight, package count, country of origin, and the Incoterm with its named place, then generate every document from it.
A checklist should be derived from the actual requirements of the destination, mode and cargo, not copied from a generic template. Keep it under version control with a dated revision and an approval record, because a checklist without a revision history cannot evidence what procedure was followed on the day.
The routine should follow milestones that already exist in the booking process. Run it in four passes: a completeness check on each document; a numeric reconciliation of the packing list against the invoice and transport document; a regulatory check of dangerous goods, licences, control classifications and destination import restrictions; and a final pre-load check of the marks, container and seal numbers. Keep the completed checklist with the shipment file.
Inconsistent data between the invoice and the packing list is the most frequent cause, typically a difference in quantity, weight or description. Each is found by reconciliation before loading.
No. A letter of credit normally requires a bill of lading, because the bank needs a negotiable document it can hold as security and that the buyer obtains by presenting it. A sea waybill is non-negotiable and transfers no title, so it does not meet the credit terms unless the credit says otherwise. Where electronic bills are permitted, an electronic bill issued through an approved platform can satisfy it.
In some jurisdictions the importer may claim preference on the strength of the exporter's own statement, an approved exporter's statement, or origin information on the invoice, and becomes liable if the claim is rejected. Either way the goods must satisfy the origin criteria of the specific agreement, and the documents must agree with the invoice and transport document.
Keep a single master record per consignment and version it, so every document is regenerated from one source of truth rather than corrected in isolation. Where an amendment changes value, weight, HS code or origin, check whether it also needs a reissued certificate of origin, amended dangerous goods declaration or corrected export declaration.
Shanghai International Logistics Co., Ltd.